DFX Intelligence
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Registered advisor
G•••••• S•••••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 27, 2025
In the industry
15 y
since Nov 1, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 27, 2025 · Woodstock, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDApr 16, 2021 to Apr 7, 2025 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 7, 2025, registered Mar 27, 2025 (-11 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedApr 7, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address